Erez Law is currently investigating Alexander Capital, L.P. broker Roger Roemmich (CRD# 1293322) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. and Alexander Capital Wealth Management LLC in Atlanta, Georgia, since 2020. He was registered with the following firms:
- Retirement Cash Flow Group, LLC in Alpharetta, Georgia, from 2019 to 2023
- Dempsey Lord Smith, LLC in Alpharetta, Georgia, from 2016 to 2020
- Roger’s Retirement Readiness Alliance LLC in Alpharetta, Georgia, from 2016 to 2018
- Coastal Equities, Inc. in Roswell, Georgia, from 2014 to 2016
- Roka Wealth Strategists in Bogart, Georgia, from 2007 to 2016
- Triad Advisors, Inc. in Rowell, Georgia, from 2006 to 2014
- H&R Block Financial Advisors, Inc. in Duluth, Georgia, from 2004 to 2006
He was terminated from H&R Block Financial Advisors, Inc. regarding, “review to determine if Mr. Roemmich was receiving income/fees from outside business activity.”
Roger Roemmich Customer Complaints
He has been the subject of three customer complaints between 2013 and 2025, according to his CRD report. The most recent complaints were regarding:
January 2025. “Allegations include suitability, and false and/or materially misleading statements.” The customer is seeking $1,200,000 in damages, and the case is currently pending. The complaint was regarding alternative investments, and it took place while he was registered with Alexander Capital, L.P., Retirement Cash Flow Group, LLC, and Independent RIA.
February 2024. “Suitability.” The customer is seeking $73,300 in damages, and the case is currently pending. The complaint took place while he was registered with Dempsey Lord Smith, LLC, and it was regarding direct investment losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Alexander Capital, L.P. may be liable for investment or other losses suffered by Roger Roemmich’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
